2014 Commodities in Review
2014 had its share of commodity headlines. With the year now completed, this is a good opportunity to review the previous year of the commodity markets. There was something for…
The Importance of Integrated Marketing in the Brokerage (or Any) Business
The Importance of Integrated Marketing in the Brokerage (or Any) Business Whether you’re a fan of the Kardashian family or not, you’ve gotta give one thing to them – they…
CFTC/NFA/CME Regulatory Updates
CFTC Relief Letter Concerning Quarterly Account Statements of CPOs of Funds of Funds On November 6, 2014, the Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity…
Housekeeping, Reminders, and Updates
Securities and Exchange Commission Investment Advisers registered with the Securities and Exchange Commission (“SEC”) and state securities authorities are required to file an annual updating amendment to the Form ADV…
Ask the NFA
As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. "Ask the NFA," is the way you can ask questions about…
FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies
On March 16, 2015, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force (FATF) had updated its list of jurisdictions with strategic AML/CFT…
Arditti Summer Research Grant Program
The Arditti Center for Risk Management at DePaul University is pleased to announce that it is now accepting proposals for its 2015 Summer Research Grant Program. The program's goal is…
Housekeeping, Reminders and Updates
NATIONAL FUTURES ASSOCIATION Commodity Pool Operators The National Futures Association (“NFA”) has modified the EasyFile system for the annual pool financial statements submitted by commodity pool operators (“CPOs”). The NFA…
“Ask NFA” Question of the Month
I was recently examined by NFA. It appeared like the examiner's exam plan "play book" that did not completely fit my business. Please describe how NFA's examination programs are structured.…
CFTC/NFA Response to the Swiss Franc Move
Roughly a month ago the Swiss National Bank rocked the world with a surprise announcement. During the middle of the night on January 15, 2015, Swiss banking authorities announced they…
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